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SEC and NYU to Host Forum on Exchange-Traded Products
August 31, 2017The Securities and Exchange Commission and New York University will host a forum in September to examine the fast growing[...]
Read ArticleREMINDER: Changes To Form ADV Go In Effect October 1st
August 31, 2017Back in August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted rules to modernize and enhance the disclosure requirements[...]
Read ArticleFormer Pharma Company Accountant, Three Others Charged With Insider Trading
August 31, 2017The Securities and Exchange Commission today charged an accountant and three others with insider trading on market-moving news about the[...]
Read ArticleSEC Monitoring Market Impact of Hurricane Harvey
August 30, 2017The Securities and Exchange Commission is closely monitoring the impact of Hurricane Harvey on investors and capital markets. Chairman Jay Clayton[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2018
August 24, 2017The Securities and Exchange Commission today announced that in fiscal year 2018 the fees that public companies and other issuers[...]
Read ArticleFee Rate Advisory #1 for Fiscal Year 2018
August 24, 2017The Securities and Exchange Commission today announced that in fiscal year 2018 the fees that public companies and other issuers[...]
Read ArticleMuni Bond Issuer and Underwriter Charged With Disclosure Failures
August 23, 2017The Securities and Exchange Commission today announced that a municipal financing authority in Beaumont, California, and its then-executive director have[...]
Read ArticleMuni Bond Issuer and Underwriter Charged With Disclosure Failures
August 23, 2017The Securities and Exchange Commission today announced that a municipal financing authority in Beaumont, California, and its then-executive director have[...]
Read ArticleSEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
August 22, 2017The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete[...]
Read ArticleSEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
August 22, 2017The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete[...]
Read ArticleHedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
August 21, 2017The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay[...]
Read ArticleHedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
August 21, 2017The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay[...]
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